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GUIDELINES FOR

GOOD RESEARCH

PRACTICE

Created and Modified: February 2016 Authors: Emma Harris and

Elizabeth Nolan Originating Department: Research, Business and

Innovation Directorate Approved by: Director of RBI Links updated: September 2017 Links updated by: Angela Davis

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DE MONTFORT UNIVERSITY

GUIDELINES FOR GOOD RESEARCH PRACTICE

1. Introduction De Montfort University is committed to research excellence. These Guidelines set

out the principles and the responsibilities to which researchers and the University

should adhere. In order to maintain the highest standards of research quality De

Montfort University upholds the principles of Universities’ UK Concordat to Support

Research Integrity1.

All researchers acting under the auspices of De Montfort University are expected to

adhere to the highest standards of professional conduct and behaviour and are

expected to perform their role with honesty, integrity and respect for their

colleagues, students, partners and customers/clients of the university. The University

is dedicated to promoting and supporting these standards and this level of

performance.

These guidelines should be read in combination with and understood to apply to

those listed in other university policies, including, but not limited to: Code of Conduct

for DMU Staff2, Disciplinary Procedure for Academic/Teaching Staff in Higher

Education3, Guidance Notes and Application Forms for applying for ethical approval

for each faculty4, General Student Regulations5, Code of Practice for Research

Degree Students6, Research Degree Regulations7, Public Interest Disclosure

(Whistle-blowing) Policy8, Statement of Policy and Procedure on Conflict of Interest9,

Research Records Retention Policy10. While the key principles and guidelines in this policy are applicable to research in all

subject areas, the guidelines from external bodies on the requirements of different

disciplines can be found on the Research Integrity and Ethics11 web page of the

University website. These should be observed in conjunction with the responsibilities

outlined in this document. All those who are involved in research at the University are expected to read these

guidelines. Should you have any suggestions on how the University can further

improve our research environment, please contact the Research, Business and

Innovation Directorate (RBI)12. The senior person (the Named Person) responsible

for Research Integrity is the Deputy Vice-Chancellor (Research and Innovation).

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2. Principles

2.1) Introduction The research environment at De Montfort University is based on the key qualities of

honesty, openness, care, integrity and accountability. The University is committed to

developing and nurturing a culture of research integrity. This is achieved through

actively supporting researchers and defining clearly how they can comply with ethical

guidelines and good research practice. The aim is to create a framework for

understanding how to design, manage, conduct, and disseminate research in a

conscientious and responsible manner.

2.2) Definitions ‘Research’ may be defined as: an original investigation undertaken in order to

generate new knowledge, understanding, and insight (REF2014). It refers to all

aspects of the research process. Research may also be defined by the Frascati

classification13.

‘Researchers’ are defined as: anyone who is involved in contributing to research.

This includes academic, research and relevant research support staff employed by

the University, and other individuals carrying out research under the auspices of the

University.

There can be some confusion about the difference between research integrity and

research ethics, and how the two interrelate. One of the best explanations comes

from the FWO (a Research Foundation):

Research integrity is closely linked but not quite identical to research ethics.

Integrity specifically involves those aspects that are linked to the quality of

research practice and its results. Ethics is primarily about standards and values to

be taken into account by the researcher to protect the well-being of humans and

animals involved in research and the results thereof. A researcher may falsify

data without immediately putting humans or animals at risk. Such a researcher

does not act with integrity, for the results of his research are unreliable, but he

does not engage in direct unethical conduct with respect to humans, animals and

their environment. However, the fact that the use of such manipulated results may

eventually cause harm to humans, animals and their environment, shows that

integrity and ethics can never be completely separated. From a broad ethical

point of view, falsification of research data or otherwise tampering with research

data is, of course, unacceptable14.

It should be further noted that:

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The standards of research conduct should be judged by the standards

prevailing in the country in question and in relation to the time period the

research was conducted.

Poor practice in research does not include differences in the design, execution,

interpretation or judgement in evaluating research methods or results, or what

might be deemed academically poor research.

3. Research Management

3.1) Values and Aims Honesty and Openness

Researchers should be honest in respect of their own actions and intentions when

undertaking research and in their responses and intentions towards the research of

others. This applies to all aspects of the research process.

De Montfort University recognises the need for researchers to protect their own

research interests in the process of planning their research and obtaining their

results. Nevertheless, the University encourages researchers to be as open as

possible in disseminating their work. Researchers should consult Policy for Managing

Open Access at DMU15 and the Research Data Management Policy16. They should

also familiarise themselves with the submission processes for the university’s

institutional repository (DORA). Any concerns about releasing results that might

affect the potential to protect the research at a later date should be referred to the

RBI for advice. Researchers are encouraged to make their outputs freely available

as soon as possible, in accordance with DMU’s Open Access policy.

Care Researchers should show care and respect for all participants in and subjects of

research, including humans, animals, the environment, and cultural objects. Those

engaged in research must also show care and respect for the stewardship of

research and scholarship for future generations.

Please see subject specific guidance on the Research Integrity and Ethics web page

for more information.

Integrity Researchers must be honest about conflict of interest issues, whether real, potential

or perceived, at the earliest opportunity and at all stages of research, e.g. when

applying for funding, when identifying collaborators and when reporting results.

Please see De Montfort University’s Statement of Policy and Procedure on Conflict

of Interest.

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Accountability Researchers must ensure that the research that they are undertaking is consistent

with the terms and conditions covered by agreements between the University and

external funders, and with the University’s Financial Regulations (in particular point

21 relating to Research Grants and Contracts and the Anti-Fraud Policy)17. This

includes, but is not restricted to, ensuring that the research programme carried out is

as defined in the original proposal to the funder, unless amendments have been

agreed in writing; that all finance is used solely for the research purpose for which it

was intended; that reports are both accurate and produced on time; and that

conditions relating to publication and ownership of Intellectual Property are adhered

to.

3.2) Obligations Researchers must comply with all applicable laws and statutes relevant to the

conduct of research including, but not limited to, the Human Rights Act 1998, the

Data Protection Act 1998, the Freedom of Information Act 2005, the Human Tissue

Act 2004, the Mental Capacity Act 2005, the Safeguarding Vulnerable Groups Act

2006, the Medicines for Human Use (Clinical Trials) Regulations 2004, the Animals (Scientific Procedures) Act 1986, and the Counter-Terrorism and Security Act 2015.

4. Responsibilities

4.1) Research Environment The University is responsible for creating a research environment that develops good

research practice and supports a culture of research integrity and ethics. This

includes supporting researchers to understand and act according to expected

standards, making guidelines and policies easily available and having procedures in

place to ensure that research is conducted in compliance with the Concordat to

Support Research Integrity. De Montfort University continuously works toward

providing comprehensive training and development on good research practice as

well as having appropriate arrangements in place through which researchers can

access advice and guidance on ethical, legal and professional obligations and

standards.

4.2) Leadership Within the University it is the responsibility of the Deputy Vice-Chancellor, Pro Vice-

Chancellor (Research and Innovation), the Heads of School, Department and the

Faculty Heads of Research and Innovation, Faculty Heads of Research Students,

Deans, Heads of Schools, Heads of Research Groups, Director of the Graduate

School, and the leaders of Research Groups and Centres to ensure the environment

of good research practice is created and maintained. The Principal Investigator is

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primarily responsible for maintaining good research practice throughout a project.

4.3) New Researchers 4.3.1 The Needs of New Researchers

Researchers who are new to the academic community may face particular difficulties

in maintaining good practice. Responsibility for ensuring that new researchers

understand good research practice lies with all members of the community, but

particularly with the relevant department and faculty, and the Graduate School.

All researchers should receive good supervision appropriate to their experience.

Researchers should not be put under unwarranted pressure to produce results. New

researchers in particular should receive appropriate training.

More details on issues relating to new researchers and postgraduate students can

be found in the Code of Practice for Research Degree Students and the Research

Degree Regulations (in particular 4.8 c relating to student responsibilities).

4.3.2 Supervisors To ensure that all research, especially that undertaken by new researchers, is in

accordance with best practice, supervisors must undertake appropriate training.

DMU academic colleagues who wish to act as supervisors for research degree

students are required to complete the University's Certificate in Research

Supervision course on good practice and student monitoring. This requires

attendance at three sessions and must be updated every three years. See

Professional Development Activities18 web page for more information.

5. Designing Research

5.1) Ethical Guidelines All research must be designed and carried out with the necessary ethical approval

and review. The overriding principle must be that no harm should be caused by the

research investigation or the dissemination of its results. More details on the

University Research Ethics policies and processes can be found within the

Faculty Review Guidance Notes and Forms.

Before research begins Lead Researchers / Principal Investigators should make all

those involved in the research aware of the relevant legal and ethical requirements,

appropriate methods of record keeping, data management, including storage and

disposal relevant to the discipline, and the importance of recognising and reporting

unforeseen results or incidents.

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5.2) Collaborations In the instance of a research project that is based on collaboration with other

countries and organisations, researchers based in the UK should comply with the

legal and ethical requirements existing in the UK and in the countries where the

research is conducted. Similarly, organisations and researchers based abroad who

participate in UK-hosted research projects should comply with the legal and ethical

requirements existing in the UK as well as those of their own country.

5.3) Health and Safety Where appropriate, researchers, with the support of the University, should conduct a

risk assessment of the planned study to determine whether or not there will be any

potential risks to the organisation, the research, or the health, safety and well-being

of researchers and research participants; and to ascertain what legal requirements

are governing the research.

All research must be designed in accordance with the University’s health and safety

procedures. Details of these can be found in the new Health and Safety Policies19

and the Code of Conduct for DMU Staff.

6. Conducting Research

6.1) Research Involving Humans and Animals In addition to designing research in accordance with ethical guidelines and health

and safety policies, special care must be taken to ensure that research projects that

include human participants or animals comply with the highest standards of research

conduct:

• Research involving human participants, human material or personal data must

comply with all legal and ethical requirements and any other applicable

guidelines. Appropriate care should be taken when research projects involve:

vulnerable groups, such as the very old, children or those with mental illness;

and covert studies or other forms of research which do not involve full

disclosure to participants. The dignity, rights, safety and well-being of

participants must be the primary consideration in any research study.

Research should be initiated and continued only if the anticipated benefits

justify the risks involved.

• Research involving animals must adhere to all legal and ethical requirements

and other applicable guidelines. The opportunities for reduction, replacement

and refinement of research involving animals in research projects must always

be considered.

For specific subject guidelines on research involving humans and animals see the

Research Integrity and Ethics web page.

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7. Documenting and Disseminating Results

7.1) Critical Approach Researchers should always be prepared to question the outcomes of their research.

The University expects all research results to be checked before being made public.

It is important that research ideas can be challenged and tested once published.

7.2) Research Data The University and researchers should comply with all legal, ethical, funding

body, and organisational requirements for the collection, use and storage of

data, especially personal data, where particular attention should be paid to the

requirements of data protection legislation. They should also maintain confidentiality

where undertakings have been made to third parties or to protect intellectual

property rights. The University and researchers should ensure that research data

relating to publications is available for discussion with other researchers, subject to

any existing agreements on confidentiality.

Where applicable, researchers should also ensure they comply with terms and

conditions set by external funders and any contractual obligations to outside parties

relating to data management.

Data should be retained by the University for a minimum of 5 years following

publication of the research (10 years in the case of EPSRC-funded data-sets). It

should be kept in a form that would enable retrieval by a third party, subject to

limitations imposed by legislation and general principles of confidentiality.

Any subject-specific requirements for the retention of data must be complied with; for

example, certain disciplines, such as health and biomedicine, may require research

data to be retained for a considerably longer period.

If research data is to be deleted or destroyed, either because its agreed period of

retention has expired or for legal or ethical reasons, it should be done so in

accordance with all legal, ethical, research funder and organisational requirements

and with particular concern for confidentiality and security.

Researchers should consider how data will be gathered, analysed and managed,

and how and in what form relevant data will eventually be made available to others,

at an early stage of the design of the project. Researchers should collect data

accurately, efficiently and according to the agreed design of the research project,

and ensure that it is stored in a secure and accessible form.

Further information on De Montfort University’s policy on using data in research can

be found in the Research Records Retention Policy20. The University is working on a

Research Data Management Policy which will be published shortly.

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7.3) Publishing 7.3.1) Authorship

The issue of authorship is important in the context of good research practice, and the

University expects the matter to be taken seriously. The University expects anyone

listed as an author on a paper to accept personal responsibility for ensuring that they

are familiar with the contents of the paper. The COPE (Committee on Publication

Ethics) report on How to handle authorship disputes: a guide for new researchers21

can be found in the appendix of this document. It is a useful reference point for all

those publishing research. It is advisable to address publication and authorship issues at an early stage of the

project, and to document agreed decisions. PIs must ensure that where appropriate

all researchers have the opportunity to contribute to the publication process.

Researchers should clearly acknowledge all sources used in their research and seek

permission from any individuals if a significant amount of their work has been used in

the publication.

Researchers should be aware of the issues regarding text recycling, otherwise

known as self-plagiarism. ‘Text recycling, also known as self-plagiarism, occurs

when sections of the same text appear (usually un-attributed) in more than one of an

author’s own publications’ (How to Deal with Text Recycling22, COPE). A full

discussion of what constitutes text recycling can be found in the COPE guidelines

cited here.

7.3.2) Publishing Conduct In order to ensure a high standard of publication, researchers should, where

appropriate, submit their work for peer review prior to publication.

Researchers should adhere to any conditions set by funding or other bodies

regarding making their research and findings open access within a specified period.

They should familiarise themselves with DMU’s Policy for Managing Open Access at

DMU and Research Data Management Policy.

Researchers should declare any potential or actual conflicts of interest in relation to

their research when reporting their findings at meetings or in publications. Please

see the University’s Statement of Policy and Procedure on Conflict of Interest.

The University and researchers should accept their duty to publish and disseminate

research in a manner that reports the research and all the findings of the research

accurately and without selection that could be misleading. If an error is found that

diminishes the worth of the published results, the researcher should discuss the

matter with the lead researcher and notify any co-authors. A correction should be

published as soon as possible setting out the basis of the reservation. Where the

findings are found to be in serious doubt, a retraction should be published speedily.

For further details on retractions and corrections please see UKRIO's new

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guidance.23

Where applicable, the University should ensure that sponsors and funders of

research: respect the duty of researchers to publish their research and the findings

of their research; do not discourage or suppress appropriate publication or

dissemination; and do not attempt to influence the presentation or interpretation of

findings inappropriately.

Researchers should also be aware of the University policy on political neutrality

which can be found in the Code of Conduct for DMU Staff.

7.4) Intellectual Property The University recognises there are instances where the potential for exploiting

intellectual property (IP) generated by research is important both to improve

economic competitiveness and to generate revenue. The potential to exploit IP

should be considered at the application and contract stages and certainly before

data are submitted for publication or presented in any other public forum including

the internet. Assistance and advice with these matters, including confidentiality and

collaboration agreements, can be found via DMU’s Legal Services24, and through

ProspectIP25, located in the Innovation Centre.

8. Research Misconduct

8.1) Definition

The definition of unacceptable research conduct is based on the Concordat to Support

Research Integrity and the RCUK Policy and Guidelines on Governance of Good

Research Conduct.

The definition includes, but is not limited to, the following:

Fabrication

This comprises the creation of false data or other aspects of research, including

documentation and participant consent.

Falsification

This comprises the inappropriate manipulation and/or selection of data, imagery and/or

consents.

Plagiarism

This comprises the misappropriation or use of others’ ideas, intellectual property or

work (written or otherwise), without acknowledgement or permission.

Misrepresentation, including:

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Misrepresentation of data, for example suppression of relevant findings and/or

data, or knowingly, recklessly or by gross negligence, presenting a flawed

interpretation of data

Undisclosed duplication of publication, including undisclosed duplicate

submission of manuscripts for publication

Misrepresentation of interests, including failure to declare material interests

either of the researcher or of the funders of the research

Misrepresentation of qualifications and/or experience, including claiming or

implying qualifications or experience which are not held

Misrepresentation of involvement, such as inappropriate claims to authorship

and/or attribution of work where there has been no significant contribution, or the

denial of authorship where an author has made a significant contribution

Breach of duty of care, whether deliberately, recklessly or by gross negligence:

Disclosing improperly the identity of individuals or groups involved in research

without their consent, or other breach of confidentiality;

Placing any of those involved in research in danger, whether as subjects,

participants or associated individuals, without their prior consent, and without

appropriate safeguards even with consent; this includes reputational danger

where that can be anticipated

Not taking all reasonable care to ensure that the risks and dangers, the broad

objectives and the sponsors of the research are known to participants or their

legal representatives, to ensure appropriate informed consent is obtained

properly, explicitly and transparently

Not observing legal and reasonable ethical requirements or obligations of care

for animal subjects, human organs or tissue used in research, or for the

protection of the environment

Improper conduct in peer review of research proposals or results (including

manuscript submitted for publication); this includes failure to disclose conflicts of

interest; inadequate disclosure of clearly limited competence; misappropriation

of the content of material; and breach of confidentiality or abuse of material

provided in confidence for peer review purposes

Improper dealing with allegations of misconduct:

Failing to address possible infringements including attempts to cover up

misconduct or reprisals against whistle-blowers

Failing to deal appropriately with malicious allegations, which should be handled

formally as breaches of good conduct.

8.2) Investigation Procedure and Points of Contact

Allegations of research misconduct will be investigated to ascertain if any misconduct

has occurred. The process for doing so is outlined in the Misconduct in Research –

Investigation Procedure26. This procedure is compliant with the principles outlined by

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the Concordat to Support Research Integrity, and it sets out a process to enable all

allegations of research misconduct to be investigated thoroughly, fairly and efficiently,

and with due care and sensitivity.

Any member of the University who has concerns about research conduct may discuss

these matters in confidence with Director of the Graduate School. Any member of the

University who genuinely believes that an act of research misconduct has occurred or

is occurring should submit their concerns to the Deputy Vice-Chancellor in writing

where possible, accompanied by any supporting evidence that is available. The

University takes seriously any allegation of research misconduct and will investigate

any such allegations in accordance with the appropriate stage(s) of the procedure.

In formulating these guidelines, the University has been informed by:

• Code of Good Practice in Research, University of Glasgow

• Research Governance and Integrity Policy, University of Bristol

• Guidelines on Good Practice in Research, University of East Anglia

• The Universities UK Concordat to Support Research Integrity

• Code of Practice for Research, UK Research Integrity Office

• RCUK Policy and Guidelines on Governance of Good Research

1 The Universities UK Concordat to Support Research Integrity (2012):

http://www.universitiesuk.ac.uk/policy-and-analysis/reports/Pages/research-concordat.aspx 2 Code of Conduct for DMU Staff (2013): http://www.dmu.ac.uk/documents/dmu- staff/pod/people-

management-handbook/codeofconductfinal.pdf 3 Disciplinary Procedure for Academic/Teaching Staff in Higher Education (1999)

http://www.dmu.ac.uk/documents/dmu-staff/pod/people-management-handbook/working-for-dmu/performance-improvement-and-staff-conduct/disciplinary-procedure---academic-staff/disciplinaryprocedure-academicstaff.pdf 4 Ethical Approval Faculty Navigation Page: http://www.dmu.ac.uk/research/ethics- and-governance/faculty-

specific-procedures/faculty-specific-procedures.aspx 5 General Student Regulations (Chapter 2 Student Discipline): http://www.dmu.ac.uk/documents/dmu-

students/academic-support-office/2016-17-student-regulations/chapter-2-16.17.pdf 6 Code of Practice for Research Degree Students http://www.dmu.ac.uk/research/graduate-school/current-

research-students/code-of-practice/code-of-practice.aspx 7 Research Degree Regulations (2013): http://www.dmu.ac.uk/documents/research-documents/graduate-

school/cop-2013/regulations/cop-2013-introduction-1).pdf 8 Public Interest Disclosure (Whistle-blowing) Policy (2013): http://dmu.ac.uk/documents/dmu-staff/pod/people-

management-handbook/raising-concerns/raising-serious-concerns-whistleblowing-policy.pdf 9 Statement of Policy and Procedure on Conflict of Interest: http://www.dmu.ac.uk/documents/dmu-

staff/pod/people-management-handbook/conflictofinterestpolicyv6final.pdf 10

Research Records Retention Policy (2007): http://www.dmu.ac.uk/documents/about-dmu-documents/quality-management-and-policy/records-management/research-records-retention-policy.pdf 11

Research Integrity and Ethics Web Page: http://www.dmu.ac.uk/research/ethics-and-governance/research-integrity-and-ethics-training-and-resources.aspx 12

RBI Web Page: http://www.dmu.ac.uk/research/research-support/research-business-and-innovation-directorate/research-business-and-innovation.aspx 13

Frascati Manual (2002 ): http://www.tubitak.gov.tr/tubitak_content_files/BTYPD/kilavuzlar/Frascati.pdf

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FWO http://www.fwo.be/en/the-fwo/organisation/research-integrity/ 15

Policy for Managing Open Access at DMU: https://www.dmu.ac.uk/documents/research-documents/research-support/final-de-montfort-university-open-access-policy.pdf 16

Data Management Policy: https://www.dmu.ac.uk/documents/research-documents/research-support/dmu-guidelines-on-rdm-march-2016.pdf 17

Financial Regulations (Available on Intranet) (2007): https://sites.google.com/a/myapps.dmu.ac.uk/finance/home/financial-regulations and Anti Fraud Policy (2014): https://docs.google.com/a/myapps.dmu.ac.uk/viewer?a=v&pid=sites&srcid=bXlhcHBzLmRtdS5hYy51a3xmaW5hbmNlfGd4OjMwYjI2ZDFiMjIyYmNkNjA 18

Professional Development Activities Web Page: http://www.dmu.ac.uk/about- dmu/professional-services/academic-professional-development/professional- development-activities/certificate-in-research-supervision.aspx 19

Health and Safety Policies (Available on Intranet): https://sites.google.com/a/myapps.dmu.ac.uk/hr-intranet/home/health-safety-new 20

Research Records Retention Policy: http://www.dmu.ac.uk/documents/about-dmu-documents/quality-management-and-policy/records-management/research-records-retention-policy.pdf 21

18 How to handle authorship disputes: a guide for new researchers, COPE: http://publicationethics.org/files/2003pdf12_0.pdf 22

How to deal with text recycling, COPE: http://publicationethics.org/files/BioMed%20Central_text_recycling_editorial_guidelines_0.pdf 23

Good practice in research: Guidance for researchers on retractions in academic journals (http://ukrio.org/wp-content/uploads/UKRIO-Guidance-for-researchers-on-retractions-in-academic-journals.pdf). 24

IP Guidance Pages, Legal Services, DMU: http://www.dmu.ac.uk/research/research-support/intellectual-property/intellectual-property-advice.aspx 25

Prospect IP: http://www.prospectip.com/resources.htm 26

Misconduct in Research - Investigation Procedure: http://preview.dmu.ac.uk/documents/research-documents/ethics-faculty-procedures/misconduct-in-research-investigation-procedure-final.pdf